Appendix 6 - Amazon Web Services



Appendix 6 - Surveillance Officer UndertakingI, __________________________________________(the Surveillance Officer) of ______________________________________________(the Market Participant), a designated Market Participant of the NZX, confirm to NZX that:I was appointed as the Surveillance Officer of the Market Participant on ______________ [date when the Surveillance Officer was appointed to that position] and still hold that officeI will not undertake any operational activities, including submitting, entering, recording, receiving or processing Orders and/or accounting entries relating to Security transactions, on behalf of the Market Participant or on my own behalfI confirm that I have the appropriate skills and experience to undertake the obligations of the Surveillance Officer of the Market Participant, as set out in NZX Participant RulesI will report any suspected or actual breaches of the NZX Participant Rules, or directions issued from time to time by NZX and any failure by the Market Participant to observe Good Broking Practice as applicable to the class/classes of Market Participant for which the Market Participant is designated to the Market Participant’s Managing Principal/Responsible ExecutiveI am a fit and proper person without any history of dishonest or fraudulent activitiesI have not had any charges brought against me as a result of a breach of the NZX Participant Rules, and/or the NZX Rules, Regulations or Code of Practice in existence prior to the NZX Participant Rules coming into forceI have not had any disciplinary action brought against me by any government and/or any regulatory authority andI have not been declared a bankrupt by the High Court of New Zealand or any overseas regulatory bodySurveillance Officer Signature DateManaging Principal/Responsible Executive Signature Date ................
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